AN OVERVIEW OF OUR SERVICES

REGULATORY COMPLIANCE SERVICES

FOR CAPITAL MARKET FIRMS

REGULATORY COMPLIANCE SERVICES FOR CAPITAL MARKET FIRMS

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In this brochure we summarise the services that we offer firms in a broad range of Capital Market sectors that include:

• Asset Management

• Broker Dealers & Traders

• Corporate Finance

• Crowdfunding

• FinTech

• Infrastructure

• Investment Management

• P2P Lending

• Private Equity

• Venture Capital

• Wealth Management

Compliancy Services

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Financial services compliance is becoming increasingly

more complex. Not only do regulators produce a

continuous stream of regulatory updates, consultations

and thematic reviews, but each year there seems to

be something new - The Market Abuse Regulations

(2017), MiFID II (2018), SM&CR (2019) and 5th Money

Laundering Directive (2020).

With the growing spectre of greater personal liability,

regulatory actions, and fines, it is more important than

ever that you have the right level of resources, skills,

knowledge and experience to manage your regulatory

compliance obligations.

Many firms use a specialist consultancy firm to

strengthen their compliance capabilities. Whether

you’re seeking a consultancy partner for the first

time, or want to benchmark your current provider and

costs, Compliancy Services offers a genuinely fresh

perspective. A distinctive individual approach which

allows us to craft a bespoke support package, rather

than offer a ‘standard’ product or what you may have

experienced previously. It’s essential to providing you

with compliance assurance and value for money.

INCREASING REGULATORY DEMANDS

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SUPPLEMENTARY RESOURCE

HOW WE CAN HELP

Dedicated consultant

Regulatory change scanning and support

Compliance Select - client portal

Monitoring advice and support

Regulatory returns assistance

Compliance framework review

Specialist ‘deep dive’ reviews

Financial crime risk assessments

Online/face- to -face training and education

£

REGULATORY COMPLIANCE SERVICES FOR CAPITAL MARKET FIRMS

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Compliancy Services support

hundreds of firms in numerous ways,

be it through regular compliance

monitoring, reviewing or managing

regulatory returns, online and

classroom training, benchmarking,

compliance assurance reviews and

much, much more.

You may be a smaller firm which is

seeking someone to manage your

compliance on a day-to-day basis or a

larger firm that is looking for specialist

skills or to fill resource gaps.

With Compliancy Services you benefit

from a reliable, specialist compliance

partner to help you meet your

regulatory obligations. We answer

your technical questions, we work

with you to manage your regulatory

risks and we support your firm as it

evolves and grows.

RETAINED SUPPORT

What is usually included in our

retained support service?

Compliance Heathcheck

Compliance monitoring

Policy suite management

Financial crime risk

assessment

Ad hoc advice and

support

SM&CR framework and system

Regulatory filing

Data protection

review

Capital adequacy

Online/face- to-face training

Resource augmentation

and secondment

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Opposite are examples of

solutions we have to the

day-to-day compliance

needs and challenges that

firms can face.

Recognising that all firms

are different in terms of

their size, maturity, and

complexity, we take the

time to understand your

firm and its requirements.

For example, its business

model, strategy, financial

and resourcing challenges,

risks, controls, and any

concerns you have.

This allows us to tailor

a compliance support

solution to meet your

precise requirements.

We then review this, at

least annually to ensure

it remains appropriate

and keeps pace with your

company’s evolution.

COMPLIANCE HEALTHCHECK COMPLIANCE MONITORING POLICY SUITE MANAGEMENT

An independent assessment of whether your policies, procedures and documentation meet regulatory requirements. This gives you the peace of mind that you have the right compliance framework in place.

We can develop a compliance monitoring plan for you or review the effectiveness of your own plan. Once an approach is agreed, we can either execute the compliance monitoring plan on your behalf or subject your monitoring to independent review.

As a regulated firm you must have adequate policies to comply with your regulatory obligations. At least once annually, we will review your policies and work with you to ensure these are up-to-date and fit for purpose.

FINANCIAL CRIME RISK ASSESSMENTS DATA PROTECTION REVIEW REGULATORY FILING

You are required to periodically identify and assess the financial crime risks to which you are exposed as a result of the products and services you offer, the jurisdictions you operate in, customer types, transaction volumes and distribution channels. We can conduct such assessments or offer a robust independent review of assessments you have conducted yourself.

Independent assurance that you have appropriate policies, procedures and documentation in place to mitigate the risk of non-compliance with data protection obligations.

You are required to make periodic regulatory returns. We can either review your submissions prior to them being sent or prepare these on your behalf. Our services cover up to 22 different types of returns.

REGULATORY COMPLIANCE SERVICES FOR CAPITAL MARKET FIRMS

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CAPITAL ADEQUACY SM&CR FRAMEWORK SM&CR SYSTEM

All firms have a duty to meet and maintain required capital requirements according to their regulatory permissions. Depending on your firm type this may involve an Internal Capital Adequacy Assessment Process (ICAAP) and/or an Internal Liquidity Adequacy Assessment Process (ILAAP). We can prepare or review these assessments and supporting documentation, ensuring that your firm is complying with its obligations.

We undertake a thorough, independent review of your Senior Managers & Certification Regime (SM&CR) policies, procedures, systems and documentation. We seek to identify compliance gaps, offer recommendations for improvement, and support and/or manage any remediation work that is required.

Our simple to use cloud based application has all the tools you need to manage the requirements of the Senior Managers and Certification Regime. Built by subject matter experts, Compliancy.SMCR stores information, evidences compliance, produces reports and documentation, automates reminders and helps readily identify and address gaps in your compliance.

ADVICE AND SUPPORT ONLINE/FACE TO FACE LEARNING RESOURCE AUGMENTATION

On demand and proactive support from your Account Management Team, which is led by a specialist Consultant. They can answer your questions, provide advice or deal with specific issues for you. A set number of hours support per month and the option to purchase additional hours, if your requirements change.

Our specialist e-learning system has over 30 training courses, in addition to which we offer a broad range of face-to-face training topics, from Financial Crime and Data Protection through to Market Abuse and Conduct Rules.

We can offer highly qualified team members at various levels on a part-time or secondment basis and to fill key roles such as SMF 16 (Compliance Oversight) or SMF17 (Money Laundering Reporting Officer).

Compliancy Services

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COMPLIANCE SELECT – OUR CLIENT PORTAL

REGULATORY UPDATES

Alerts about notable or relevant

regulatory developments.

COMPLIANCE MONITORING PLAN

Build the schedule of activities you

need to complete, monitor and

evidence progress against your plan.

ACTIVITY REMINDERS

Automated email reminders of

when activities are due.

DOCUMENT MANAGEMENT

Receive, track, manage and store

documents, including your policies

and compliance manual.

REGISTERS

Manage your compliance registers,

for example Gifts and Hospitality,

Conflicts etc.

LIBRARY

A range of customisable policies,

procedures, forms and letters.

Underpinning and

enhancing our service

is Compliance Select,

our proprietary online

regtech portal. It

provides a gateway

into our other

regtech platforms for

e-learning and SM&CR,

in addition to secure

document sharing

and management.

You can, also, access

tools to help manage

your compliance, as

well as customisable

document templates and

summaries of regulatory

developments that affect

your business.

REGULATORY COMPLIANCE SERVICES FOR CAPITAL MARKET FIRMS

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DEEP DIVE REVIEWS

We offer a range of particularly

focussed consultancy services

designed to assess your compliance

and manage your regulatory risks.

The Compliance Healthcheck we

offer, either stand-alone or as part

of our retained support, ensures

that the policies, procedures

and documentation you have in

place are sufficient to meet your

regulatory obligations.

Our ‘deep dive’ reviews go further

by offering a more detailed

evaluation of the effectiveness

of your compliance policies,

procedures and systems and helping

you to address any issues that

are identified. For example, could

the policies and procedures could

implemented more efficiently, how

are they communicated, adhered to

and how do you manage breaches.

RISK MANAGEMENT/OPERATIONS

• Risk Management Framework

• Operational Resilience/Business Continuity

• Outsourcing

• Monitoring Appointed Representatives

• Transaction Reporting

We find time and again that our recommendations don’t just help our clients mitigate regulatory risk, but offer the ability to benchmark against your peers, regulatory expectations and ultimately provide reassurance and peace of mind.

GOVERNANCE

• Governance Effectiveness

• Compliance Effectiveness

• Internal Audit Co-Sourcing

• Internal Controls

• Remuneration

CONDUCT AND CULTURE

• Conduct and Culture

• Conduct of Business

• Conflict of Interest

FINANCIAL CRIME

• Financial Crime

• Onboarding

• Market Abuse

CLIENTS AND PRODUCTS

• Financial Promotions

• Product Governance

• Dispute Resolution

• CASS

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WHY COMPLIANCY SERVICES?

CLIENT PORTAL

Our unique Compliance

Select client portal provides

you with a gateway to our

other regtech platforms for

e-learning and SM&CR, in

addition to tools that help

you manage your compliance;

customisable document

templates; and

relevant regulatory

developments.

RELIABLE REGULATORY COMPLIANCE PARTNER

Being a compliance partner

means that we take the

time to understand your

business, your team,

structure and plans.

PEER LEARNING

You benefit from the

knowledge, experience

and insight we gain

working with many

other firms in

your sector.

DEDICATED, SPECIALIST TEAM

A team of regulatory

compliance specialists that

are knowledgeable in your

sector and have a reputation

for providing a high quality

and responsive service that

minimises your regulatory

burden.

MODULAR SERVICE OPTIONS

A tailored service solution

designed to meet your

regulatory obligations,

mitigate regulatory risks

and which will support

your firm as it evolves and

grows.

REGULATORY COMPLIANCE SERVICES FOR CAPITAL MARKET FIRMS

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INSPIRING CONFIDENCE. INFORMING ACTION

Compliancy Services is one of the UK’s leading providers of compliance consultancy

and regtech services. Our award winning services help firms become authorised by

the Financial Conduct Authority or the Prudential Regulation Authority; to manage

their ongoing compliance and regulatory obligations; and empower their staff with

focused compliance training.

Our team of ex-regulators, industry practitioners and subject matter experts help

to minimise the regulatory burden, offering practical, usable advice and solutions

that work for your business and the regulator. It’s through the breadth and depth of

their collective expertise and experience that we provide an outstanding service and

ensure that compliance makes a positive contribution to your business.

By using our proprietary online client portal, Compliance Select, you get access to

regtech apps and time saving features that include your compliance monitoring

plan, document library and management, automated task reminders, compliance

registers and summaries of regulatory changes that affect your business.

It’s a proven formula, we’ve successfully managed more than 1,100 new FCA

applications and over 600 firms rely on our ongoing compliance support and

guidance.

ABOUT COMPLIANCY SERVICES

WINNER 2017

Best Consultancy/ Law Firm

– FCA Authorisations

WINNER 2018

Most Effective FinTech/

RegTech firm

WINNER 2018

Best Consultancy/ Law Firm

– Payment Services

WINNER 2019

Most Innovative FinTech/

RegTech firm

Compliancy Services

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GET IN TOUCHContact us to discuss your compliance

management requirements.

Compliancy Services Ltd

2nd Floor

1 West Smithfield

London

EC1A 9JU

020 7060 4499

info@compliancy-services.co.uk

www.compliancy-services.co.uk

Compliancy Services Ltd. Registered in England No. 04954156Registered Office: 69 Hermitage Road, Hitchin, Hertfordshire SG5 1DB.©Compliancy Services Ltd, August 2020